qualifications and do not possess any prohibited characteristics as specified by law, and at least two of whom having management experience at listed or securities firms. Expert board members each hold office
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
qualifications and do not possess any prohibited characteristics as specified by law, and at least two of whom having management experience at listed or securities firms. Expert board members each hold office
special audit must be conducted by an auditor from any of the Big Four audit firms, and the report thereof must be submitted to the SEC and disclosed through the SET Electronic Information System within 30
? intention and brought about disputes between the clients and the investment consultants as well as the securities firms. Therefore, the SEC urges collaboration among investors not to make such authorization
funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will
. In addition, the SEC proposes to repeal the requirement for foreign auditors of equity issuers to be affiliated with audit firms in the same group as Thai auditors and to specify no provisions
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital
The SEC as a host, in association with audit regulatory agencies of Malaysia, Singapore, Indonesia, and the Philippines (AARG members), organized the 10th AARG Annual Meeting with Audit Firms on 15